J.W. Cole Financial, Inc.

Location: Tampa, FL

Overview

J.W. Cole is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service, operational, product, compliance, and practice support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.

About the Position

J.W. Cole Financial, Inc. is seeking a highly motivated, creative, and dynamic professional to join our compliance team in Tampa! The ideal candidate will have a background in the financial services industry. This role is responsible for supporting the firm’s compliance program by executing risk-based compliance testing and monitoring activities aligned with regulatory requirements. The role tracks and supports remediation of issues identified through testing and reviews and contributes to the firm’s compliance risk assessment to prioritize monitoring efforts. In addition, the role will help ensure the Firm maintains proper, efficient, and field-focused compliance policies and procedures, including identifying, updating, and tracking. The role also provides continuing education, documentation, reporting, and communication support to strengthen overall compliance program oversight.

This role requires an individual who can identify opportunities, create efficiencies, drive improvements and achieve successful results working in a team-based environment. It is incumbent that the candidate be able to work in a dynamic and diverse environment growing the firm’s successful and evolving compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and create solutions. Accordingly, we are seeking a driven candidate who enjoys facing and overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

Responsibilities:

• Compliance Testing
  • Execute testing aligned with regulatory requirements including supervisory control reviews, 206(4)-7 testing, and annual compliance program reviews. Monitor issues identified by the Home Office OSJ examination and, as applicable, incorporate into the testing program.
  • Meticulously document testing procedures, results, and evidence in work papers to create detailed reports for management.
  • Monitor the implementation of corrective actions and perform follow-up tests to ensure identified issues are resolved.
  • Support the firm’s compliance risk assessment and use results to help determine testing priorities.
• Policies & Procedures (P&P)
  • Support the development, maintenance, and formal publication of compliance policies and procedures consistent with regulatory requirements, ease-of-business, efficiency and organizational standards.
  • Maintain oversight of desktop procedures across business units, including tracking document ownership, periodic reviews, and required updates.
  • Administer document controls, including version management, archival practices, and supporting documentation to meet regulatory books and records retention requirements.

Additional Responsibilities:

• Work with business lines, internal stakeholders, and external auditors to ensure compliance and support regulatory requirements
• Administer compliance content on the firm’s internal intranet site.
• Assist with drafting and publishing field communications related to compliance matters.
• Support the Compliance training and Continuing Education program
• Other duties as assigned

Given the importance of team dynamics and our partnering culture candidates, seeking a remote position will not be considered.

Qualifications:

• Series 7 and 24 (required)
• Bachelor's Degree (preferred)
• 5+ years of financial services experience in audit, risk management, or compliance
• Good knowledge of FINRA and SEC regulatory requirements
• Knowledge and experience with risk-based testing methodologies
• Experience with drafting and maintaining policies and procedures
• Ability to multitask and pivot, when necessary, in a fast-paced environment to meet deliverables.
• High attention to detail and ability to work independently
• Excellent written and verbal communication skills
• Must be highly motivated, energetic, and driven with a willingness to spearhead projects.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.

Job Type: Full-Time

Benefits: 

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Education: Bachelor's (preferred)

Experience: Broker/Dealer: 5 years (required)

License/Certification: Series 7 (required), Series 24 (required) 

Work Location: In person

To apply: Email Resume to Lauren.McClemens@jw-cole.com